[Code of Federal Regulations]
[Title 49, Volume 5]
[Revised as of October 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 49CFR386.22]

[Page 266-267]
 
                        TITLE 49--TRANSPORTATION
 
                      DEPARTMENT OF TRANSPORTATION
 
PART 386_RULES OF PRACTICE FOR MOTOR CARRIER, BROKER, FREIGHT FORWARDER, 
AND HAZARDOUS MATERIALS PROCEEDINGS--Table of Contents
 
                     Subpart C_Settlement Agreements
 
Sec.  386.22  Settlement agreements and their contents.


    (a) Settlement agreements. (1) When negotiations produce an 
agreement as to the amount or terms of payment of a civil penalty or the 
terms and conditions of an order, a settlement agreement shall be drawn 
and signed by the respondent and the Field Administrator or his/her 
designee. Such settlement agreement must contain the following:
    (i) The statutory basis of the claim;
    (ii) A brief statement of the violations;
    (iii) The amount claimed and the amount paid;
    (iv) The date, time, and place and form of payment;
    (v) A statement that the agreement is not binding on the Agency 
until executed by the Field Administrator or his/her designee;
    (vi) A statement that failure to pay in accordance with the terms of 
the agreement or to comply with the terms of the agreement may result in 
the reinstatement of any penalties held in abeyance and may also result 
in the loss of any reductions in civil penalties asserted in the Notice 
of Claim, in which case the original amount asserted will be due 
immediately; and
    (vii) A statement that the agreement is the Final Agency Order.
    (2) A settlement agreement may contain any conditions, actions, or 
provisions agreed by the parties to redress the violations cited in the 
Notice of Claim or notice of violation.
    (3) A settlement agreement accepted and approved by the Assistant 
Administrator or Administrative Law Judge is a Final Agency Order which 
is binding on all parties according to its terms. Consent to a 
settlement agreement which has not yet been approved by the Assistant 
Administrator or Administrative Law Judge may not be withdrawn for a 
period of 30 days.
    (b) Civil Penalty Proceedings not before Agency Decisionmaker. When 
the parties have agreed to a settlement at any time prior to the case 
coming before the Agency decisionmaker, the parties may execute an 
appropriate agreement for disposing of the case. The agreement does not 
require approval by the Agency decisionmaker. The agreement becomes the 
Final Agency Order upon execution by the Field Administrator or his/her 
designee.
    (c) Civil Penalty Proceedings before Agency Decisionmaker. When a 
respondent has agreed to a settlement of a civil penalty before a Final 
Agency Order has been issued, the parties may execute an appropriate 
agreement for disposal of the case by consent for the consideration of 
the Assistant Administrator. The agreement is filed with the Assistant 
Administrator, who may accept it, reject it and direct that proceedings 
in the case continue, or take such other action as he/she deems 
appropriate. If the Assistant Administrator accepts the agreement, he/
she shall enter an order in accordance with its terms. The settlement 
agreement becomes the Final Agency Order as of the date the Assistant 
Administrator enters an order accepting the settlement agreement.
    (d) Civil Penalty Proceedings before Administrative Law Judge (ALJ). 
When a respondent has agreed to a settlement of a civil penalty before 
the hearing is concluded, the parties may execute an appropriate 
agreement for disposing of the case by consent for the consideration of 
the ALJ. The agreement is filed with the ALJ who may accept it, reject 
it, and direct that proceedings in the case continue, or take such other 
action as he/she deems appropriate. If the ALJ accepts the agreement, 
he/she shall enter an order in accordance with its terms. The settlement 
agreement becomes the Final Agency Order as per Sec.  386.61.
    (e) Civil Penalty Proceedings before Hearing Officer. When a 
respondent has agreed to a settlement of a civil penalty before the 
hearing is concluded, the parties may execute an appropriate agreement 
for disposal of the case for

[[Page 267]]

the consideration of the Hearing Officer. The agreement is filed with 
the Hearing Officer, who, within 20 days of receipt, will make a report 
and recommendation to the Assistant Administrator who may accept it, 
reject it, and direct that proceedings in the case continue, or take 
such other action as he/she deems appropriate. If the Assistant 
Administrator accepts the agreement, he/she will enter an order in 
accordance with its terms. The settlement agreement becomes the Final 
Agency Order as of the date the Assistant Administrator enters an order 
accepting the settlement agreement.

[70 FR 28482, May 18, 2005]